Senior Registered Compliance Officer - Surveillance

Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

Transamerica is organized into three distinct businesses. These include
1) World Financial Group, including Transamerica Financial Advisors,
2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and
3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.
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As a key member of the Compliance Department’s Surveillance team, this individual role independently manages complex compliance activities and contributes to the effectiveness of a broad, evolving compliance program across securities, broker-dealer, registered investment adviser, insurance, anti-money laundering, surveillance, and related financial services functions and regulatory requirements. This role performs complex analysis, identifies issues and trends, recommends practical solutions, and provides guidance to business partners with limited supervision.

• Conduct risk-based surveillance of securities transactions, sales practices, outside brokerage accounts, and employee and registered representative activity, including researching and evaluating exceptions to determine appropriate disposition, escalation, or corrective action.
• Develop and execute complex compliance monitoring, testing, reviews, risk-based assessments and surveillance using established standards and independent judgment.
• Analyze business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify risks, issues, trends, and control gaps.
• Interpret applicable laws, regulations, regulatory guidance, firm policies, and procedures to provide practical compliance guidance to…